https://www.finra.org/rules-guidance/notices/10-26
SEC Approves Amendments to Trade Reporting Requirements for Restricted Equity Securities and Revisions to the Definition of OTC Equity Security
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/23-06
Summary To bring attention to a rising trend in the fraudulent transfer of customer accounts through the Automated Customer Account Transfer Service (ACATS),...
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/22-08/comment/yang-song-comment-regulatory-notice-22-08
I believe it is my right to choose the public investments for me and my family. Meanwhile, I'm capable of understanding leveraged and inverse funds and their...
yang songregulatory noticecommentfinraorg
https://www.finra.org/rules-guidance/notices/09-50
SEC Approval and Effective Date for New Consolidated FINRA Rules
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/22-08/comment/eric-toth-comment-regulatory-notice-22-08
I can make my own decisions, thank you very much. I can limit my exposure by choosing not to purchase, purchase a small amount, or as much as I want. As a...
eric tothregulatory noticecommentfinraorg
https://www.finra.org/rules-guidance/notices/10-35
SEC Approval and Effective Date for New Consolidated FINRA Rule
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/21-06
Summary In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual...
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/23-05
SummaryFINRA periodically reviews the content of qualification exams to ensure each exam remains current and appropriately tailored to the qualifications and...
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/09-18
EBS Submissions Following Implementation of the Option Symbology Initiative
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/09-29
FINRA Requests Comment on Proposed FINRA Rule Addressing the Origination and Circulation of Rumors
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/11-27
SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/20-08
Summary Due to the recent outbreak of coronavirus disease (COVID-19), FINRA reminds member firms to consider pandemic-related business continuity planning,...
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/16-15
Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/12-47
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/24-02
FINRA is issuing this Notice to announce the effective dates of two new supplementary materials under FINRA Rule 3110 (Supervision).
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/22-08/comment/jay-yelas-comment-regulatory-notice-22-08
I want to be able to choose what investments are right for me and my family. Sometimes, the right investment is a short ETF. Regulators should not be able to...
regulatory noticejaycommentfinraorg
https://www.finra.org/rules-guidance/notices/21-11?utm_source=MM&utm_medium=email&utm_campaign=O_Weekly_Update_050521_FINAL
Summary FINRA seeks comment on proposed amendments to Rule 4210 (Margin Requirements) that would clarify and incorporate into the rule current interpretations...
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/25-07
Advances in technology have transformed the workplace for members and their associated persons. These advances have changed how members and their associated...
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/22-07
Summary In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual...
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/08-13
FINRA Consolidates the Collection of Short Interest Data; Effective Date: May 15, 2008
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/25-05
SummaryFINRA seeks comment on a proposed new rule to streamline and reduce unnecessary burdens regarding existing requirements addressing the outside...
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/15-09
Guidance on Effective Supervision and Control Practices for Firms Engaging in Algorithmic Trading Strategies
regulatory noticefinraorg
https://www.pew.org/en/research-and-analysis/issue-briefs/2009/09/21/regulatory-comment-on-credit-card-act-rule-advanced-notice-and-cancel-requirements
Regulatory Comment on Credit Card Act Advanced Notice and Cancel Requirements
credit card actregulatorycommentruleadvanced
https://www.finra.org/rules-guidance/notices/18-40
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a $200 Honorarium for Contested Subpoenas or Orders
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/21-19/comment/ron-velotta-comment-regulatory-notice-21-19
Do you REALLY think the solution is to allow the members that have been engaged in blatant market manipulation against retail investors to make the judgement...
regulatory noticeroncommentfinraorg
https://www.finra.org/rules-guidance/notices/11-02
SEC Approves Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/14-20
FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/10-56
SEC Approves Amendments to the Trading Activity Fee and FINRA Announces Publication of Frequently Asked Questions
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/21-14
Summary FINRA warns member firms that, over the past two months, we have observed a sharp increase in new customers opening online brokerage accounts and...
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/comment/janice-parise-comment-regulatory-notice-25-04
Rule 17a-5 requires all member firms to file Schedule 1 of Form X-17A-5. This Schedule is a calendar year--end report filed by all registrants as a supplement...
regulatory noticejaniceparisecommentfinra
https://www.finra.org/rules-guidance/notices/23-13
Summary FINRA has adopted changes to its rules to allow for video conference hearings before the Office of Hearing Officers and the National Adjudicatory...
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/13-19
SEC Approves Amendments to Require Firms to Report OTC Transactions in Equity Securities as Soon as Practicable, But No Later Than 10 Seconds, Following...
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/11-06
SEC Approves Consolidated FINRA Rule Governing Reporting Requirements
regulatory noticefinraorg
https://www.finra.org/rules-guidance/notices/22-08/comment/edward-skopal-comment-regulatory-notice-22-08
Please continue to allow me to decide my investment choices. I do not agree with the proposed legislation. Ed Skopal
regulatory noticeedwardcommentfinraorg
https://www.finra.org/rules-guidance/notices/22-08/comment/shengjun-he-comment-regulatory-notice-22-08-0
I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST. The day trading restrictions and wash sales rules have already made it very unfair for little guys like me in...
regulatory noticecommentfinraorg
https://www.finra.org/rules-guidance/notices/18-14
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on the Annual Compliance Meeting
regulatory noticefinraorg